{"id":11326,"date":"2024-02-01T14:55:39","date_gmt":"2024-02-01T19:55:39","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11326"},"modified":"2024-02-01T14:55:39","modified_gmt":"2024-02-01T19:55:39","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Gabriela Alfaro<\/a><\/td>\n\u00a0 Charles Schwab &Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Vinessa Christian<\/a><\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 RBC Dain Raucher Inc.<\/td>\n<\/tr>\n
\u00a0 Denzel Coleman<\/a><\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Stalin Cruz<\/a><\/td>\n\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Windsor Street Capital, L.P.<\/td>\n<\/tr>\n
\u00a0 Richard Goldston<\/a><\/td>\n\u00a0 Edwared Jones<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11326","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules January 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2024, the following were suspended and cannot work for a brokerage firm for failing to provide information.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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